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Important Aspects of Governance, Transparency, and Accountability E-governance: Applications, Models, Successes, Limitations, and PotentialCitizens’ ChartersTransparency and Accountability -10th ARCCVCLokayuktas and LokpalsE-govRTIInstitutional and other measuresTopics to cover: Definition of e-governanceFour stages of e-governance as outlined by OECDFour stages in Indian contextFour kinds of ‘interactions’ facilitated by e-governanceAtleast one example for each of these (state/ central government)1 key recommendation from UN’s report on e-gov1 key lesson from India’s attempts at computerization of land records5 models of e-governance (e-BCCI)Success rate for e-gov projects in IndiaCore principles for e-gov in IndiaKey steps towards implementation of e-gov reforms (what should be done and in what sequence?)NeGP: aim, 3 componentsGood governance aims at providing public services effectively, efficiently, and equitably to the citizens. Citizens are thus at the core of good governance. It incorporates elimination of corruption, which can be defined as the use of public office towards private gains. E- GovernanceE-Governance is generally understood as the use of ICT at all levels of the Government in order to provide services to the citizens, interaction with business enterprises, and communication and exchange of information between different agencies of the Government in a speedy, convenient efficient and transparent mannerA successful e-Governance intervention isn’t mere application of ICT tools to governance; it requires a holistic approach, as it encompasses domain knowledge, process reform management, resources management, project management and change management. In each one of these, Knowledge Management (KM) is an important component. Knowledge Management is a process that, continuously and systematically, transfers knowledge from individuals and teams, who generate them, to the ‘brain’ of the organisation for the benefit of the entire organisationOECD has defined four stages of e-government, each one more demanding than the next. These are:Information: putting information on web-sites Interaction: allowing citizens to enquire about services, procedures etc. and ?filling up forms and submitting them online Transaction: allowing payments online Transformation: a mix of all the above and allowing the citizen to participate in governance through ICTIn the Indian context, the stages of evolution of e-governance have been: Computerization of government officesNetworking: connection of various departments by technologyOnline presence of departmentsOnline interactivity with citizensE-gov promotes various kinds of interactions: G2G (both horizontal and vertical), G2C, G2B, and G2E (employee)Benefits: Better access to information and quality service for citizens; Simplicity, efficiency, and accountability in the government, and expanded reach of governanceThe UN comes out with an ‘e-gov preparedness level index’ annually; components include:Web-measure indexTelecommunications infrastructure index (Internet users, PCs, Main telephone lines, Cellphones, Broadband connections / 100 people)Human Capital index (adult literacy ratio, combined with primary, secondary, and tertiary gross enrolment ratio)The UN survey also recommends that the development of an ICT framework should focus on developing not only frontline interfaces with the public as service recipients, but also back office capacities for processing information and conducting transactions. Also, utilization of appropriate industry expertise is key International experience also warns us that only about 15% of e-government projects are successful; this reinforces the fact that e-governance should be first about governance, and only next about technology. That is, without governance reforms, technological solutions alone will be of no use. Main reasons behind such failures are as follows:The technological interface of the project does not match with the IT- preparedness of the organization owning and implementing the projectThe organizational processes does not match with the application platform provided by the technological solutionThe management structures are not conducive to implementation and sustenance of e-Governance projectsAdequate resources (time, money etc.) are not allocated to e-Government projectsThis shows that e-Governance projects cannot be planted from outside. A holistic approach has to be adopted in order to understand the needs of the citizens, the capabilities of government organizations, their processes and structures and based on these, the technology-based solution would have to be devisedIn India’s case, the experience of trying to computerize land records corroborates this evidence- while this initiative was one of the very first ICT initiatives in India, it failed to take into account that the existing land records do not accurately reflect the ground reality. Hence, the scheme only led to perpetuation of existing loopholes and errorsSome initiatives in India and lessons learntG2C:Computerization of land records (GoI, Dept. of Land Resources):The scheme failed to address the main problem in case of land records in India, i.e. the land records do not reflect the factual ground reality. Computerization only led to perpetuation of existing loopholes and errorsBhoomi (Karnataka):Computerized kiosks offer procurement of land records and requests for changes to land titlesDemonstrates that if benefits to citizens are real and substantial, projects become sustainableFor success, political will, end-to-end computerization, and continuity in project management team are essentialGyandoot (Maharashtra)Computerized kiosks offer information on agricultural commodity rates, and certificates for income, domicile, caste; BPL list, hindi newspaper etc., with a prescribed service charge for each serviceNo loan or government subsidies were involvedDemonstrates that supporting infrastructure is a must for e-gov projects, as situation of power supply, connectivity, and backend support was badUser charges in rural areas may be a detarrantLokvani (UP)Computerized kiosks offer information on various government schemes, land records, agricultural commodity rates, and certificates for income, domicile, caste; BPL list, hindi newspaper etc., with a prescribed serve charge for each serviceExisting cyber cafes were given licenses to run this programme, so no government loans or subsidies were requiredDemonstrates that PPP model can work FRIENDS (Kerala) Single Window Facility providing means to pay taxes and other dues to the state government Operated without back-end connectivity with government departments, and was a huge successKarnataka:Karnataka’s government wants residents eventually to interact by smartphone with hundreds of services from its 60 departments. In December it launched Mobile One, a phone application, for checking property records, birth certificates, car-registration documents and more. The state also runs intercity bus services, utilities and other services, so residents can now book tickets and pay electricity bills or taxes on the phone, or check in with doctors or dentistsResidents are also encouraged to report local problems through the app. If you spot a pothole or a pile of rubbish in Bangalore, you can alert city officials by uploading a geo-tagged photograph. (Lahore, in Pakistan, has a similar service to get standing water removed, to discourage mosquitoes and dengue.)Others: e-Seva (AP), RACE (Revenue Administration through Computerized Energy) Billing project (Bihar)G2B:E-procurement (AP and Gujarat):Manual procurement suffered from various deficiencies, including discrimination, cartel formation, delays, lack of transparency etc.E-procurement resulted in reduction in tender cycle time, reduction in opportunities for corrupt practices, cost savings (advertising), prevention of cartel formation etc.Success of e-procurement initiatives in both AP and Gujarat show that some G2B processes don’t require extensive back-end computerization, and offer quick winsMCA 21 (Ministry of Corporate Affairs):Aims at providing easy and secure online access to all registry related services to corporates and other stakeholdersIt also provides access to citizens to see relevant records and ask for grievance redressal (G2C)This also makes it easy for regulatory agencies such as RBI, SEBI, IB, CBI etc. to access relevant information (G2G)G2G:Khajane (Karnataka):It is a comprehensive online treasury computerization project Resulted in the computerization of the entire treasury related activities of the State GovernmentWas implemented to eliminate systemic deficiencies in the manual treasury system SmartGov (AP):SmartGov replaces the paper file with an e-file It provides the features of creation, movement, tracking and closure of e-files, automation of repetitive tasks, decision support system through knowledge management, prioritization of work, easy access to files through an efficient document management system and collaboration between departmentsModels of e-governance (one classification is G2G, G2C, G2B, and G2E; other is this:)Broadcasting Model: Based on dissemination of useful governance information to citizensCritical Flow Model: Based on disseminating/channelling information of critical (and maybe compromising) value to the targeted audience with ICT; actors who would disclose such information could be whistle-blowers, upright officials parative Analysis Model: this model continuously assimilates best practices in different areas of governance and uses them as benchmark to evaluate other governance practices. It then uses the result to advocate positive changes or to influence 'public' opinion on existing governance practicesE-Advocacy/ Lobbying and Pressure Group ModelInteractive-Service Model: Under this model, the various services offered by the Government become directly available to its citizens in an interactive manner. It opens up an interactive Government to Consumer to Government (G2C2G) channel in various aspects of governance, such as election of government officials (e-ballots); decision to make on specific issues (eg: health plans) etc.Core principles essential for the success of e-governance in IndiaClarity of Purpose: Projects should be based not only on what technology can achieve, but primarily on what citizens needEnvironment building: Need to change the mindset of all the stakeholders involved- politicians, government officials, and the civil society at largeE-governance as an integral part of reform in governanceStep-wise approach: E-preparedness (infrastructure and human resource capabilities), identification of areas/ activities that can benefit from e-governance by each organization, prioritization, business process re-engineering, developing technological solutions, and implementation of e-gov projectsDisciplined way of workingMonitoring and EvaluationDeveloping secure, fail-safe systems and disaster recovery systems (prevent loss of data/ collapse of system/ online theft, insecure transactions etc.)Sustainability, financial and otherwiseAllowing for horizontal replicability, rather than reinventing the wheel each timeDevelopment of local language interfacesImplementing e-governance reforms in IndiaApart from the technical requirement, success of e-Governance initiatives would depend on capacity building and creating awareness within government and outside it. It requires the administrative measures mentioned below: Building a congenial environment: This requires the willingness on the part of the employees to adapt to technology and the changes that it will bring to their mode of functioning, political support, incentives, awareness, and training and capacity buildingPrioritization of projects: Simpler projects that have a great impact on the users should be identified and implemented; these might include issuing of birth and death certificates, elementary online transactions such as payment of electricity bills, and only later more complex projects like PDS issuance etc. should be taken upBusiness Process Re-engineering: Governmental forms, processes, and structures should be re-designed step-by-step to make them adaptable to e-governance, backed by procedural, institutional, and legal changes; redundant steps should be done away withCapacity building and creating awareness: Capacity building efforts should be undertaken both at the institutional as well as employee level; a network of training institutes should be set up at the state levelDeveloping Technological Solutions: Develop a national level ‘enterprise architecture’ framework, that defines the structure and operation of every organizationImplementation: Citizen feedback should be sought and regularly incorporated; while implementing large-scale projects, they should be broken down into various small parts and implementedMonitoring and EvaluationInstitutional support should be provided by apex departments at union and state level PPP possibilities (choice of vendor should be transparent)National e-governance plan (NeGP)This was initially formulated with the view to streamline various existing e-gov initiatives across the country and facilitate learning among states and projects. Implementation Strategy of NeGP focuses on developing common support infrastructure, apt governance, centralized initiative/ decentralized implementation, use of PPP where applicable, and a programme approach (clustering of related projects under a single head and steering body), and ownership of ministries. State and central governments should first provide a clear mandate for governance reforms that must precede the e-governance initiatives. NeGP has the following 3 components: Institutional Structure, Common Support Infrastructure, and Mission Mode Projects.Institutional Support: NeGP defines macro (national and state) level overseeing and directing institutes, governance structures, and their responsibilitiesCommon Support Infrastructure: State Data Centres (SDCs- repositories for secure hosting of data and applications), State Wide Area Networks (SWANs- high speed connections between state and district, and district and block headquarters), and Common Service Centers (CSCs-front end delivery points for e-gov programmes to rural citizens; can be run by gram panchayats initially) (SDC -> SWAN -> CSC)Mission Mode Projects: Important projects such as pension, income tax, passport, visa, and immigration, central excise, banking, UID, insurance etc. can be taken up in mission modeSyllabus talk: ApplicationsModels (covered above)SuccessesKisan Call CentresTata Kisan Kendras (TKKs) capture information relevant to farmers, such as soil, ground water, and weather on real time basis using GISLimitationsRural population uses government services more than urban one, and is technologically challengedLow connectivity in the rural areas precludes any possibility of e-service provisionDespite NeGP, India still lacks a full-fledged ICT framework for implementation of e-governance, which will require building technical hardware and software infrastructureLack of financial resourcesLack of skills and capacity within the governmentPotentialICT can be used for good governance, to enhance democratization, and promote citizen empowermentIt encourages participation of citizens in the governance process, and increase the easy of service deliveryIt can help create an open door administration, and increase transparency in the governmentGovernment needs constant feedback from citizens Citizens’ ChartersMany surveys show that the impression of bureaucracy among the citizenry is not favorable; they think the bureaucracy is top-heavy, overgrown in size, unproductive, unaccountable, and lacking in integrity and honesty.Some of the problems with bureaucracy arise because of weak institutions, low awareness levels of their rights among citizens, and ineffective implementation of laws and rules. In order to make governance more citizen-centric, the following pre-conditions must be fulfilled: Sound legal frameworkProper institutions for law implementationSound personnel management techniquesDecentralization, Deregulation, and AccountabilityA Citizens’ Charter is a public statement that defines the entitlements of citizens to a specific service, the standards of the service, the conditions to be met by users, and the remedies available to the latter in case of non-compliance of standards.Even though promises made under these charters are not enforceable in a court of law, each organization should specify suitable compensatory/ remedial measures in case of default. A citizens’ charter consists of the following parts:Vision/ Mission statement: Outcomes desired/ broad strategy to achieve them (vision statement is usually more faffy (‘Vision: To eradicate poverty’; mission is what you do day to day to achieve the vision: ‘Create sustainable income streams by providing microfinance’)Outlining what subjects the organization deals with and what service areas it coversOutlining duties of citizensNine principles of service delivery, as enumerated by the citizens’ charter movement in UK (basically: openness, equality, collaboration, effectiveness, resourcefulness, remedial measures, involvement of others, accessibility, and standards):Standards: Set standards of serviceTransparency: Be open and provide full informationConsult and involveEncourage access and promote choiceEquality: Treat all fairlyRemedies: Put things right when they go wrong Use resources effectivelyInnovate and improve Collaborate: Work with other providers. The UK also launched a ‘charter mark scheme’, wherein organizations could get certification that they were firms abiding by the principles of citizens’ charters (which would be perceived as an indication of quality by their customers). This scheme was later replaced by the closely related ‘customer service excellence’ scheme. Indian experience of citizens’ chartersSince 1997, after wide consultations at the union and state levels, about 115 union level government agencies and 650 state level agencies have drawn up citizens’ charters. Guidelines issued by the Department of Administrative Reform clearly outline the necessary features of such charters: Charters should be simpleMust be framed in consultation with staff who will actually implement itSteps should be taken to spread awareness amongst citizens about these chartersAgainst each service, entitlement of the customer, service standards, and remedies available should be highlighted, and procedures and costs should be mentionedIt should be clarified that the charter is not justiciableCreate a feedback mechanismSeveral reviews since have shown that the performance and execution of these charters has been abysmal. The charters suffer from the following deficiencies:Measurable standards of delivery are rarely spelt out, so its hard to assess whether the standards of service set-out are achievedPoor design and contentLack of public awarenessInadequate consultations and groundwork (end users and NGOs are rarely consulted)Charters are rarely updated, and show resistance to changeNeeds of senior citizens and the disabled are rarely consideredLack of accountability and review/ remedial mechanismsTendency to have a uniform charter for all offices under the parent organizationExperience from the charter of the IT department shows that it applies uniformly to all field formations in the Department. However, field units across the country differ on account of workload (i.e. number of cases, complexity involved), human resources etc. Thus, there is need for having Citizens’ Charters at the level of field units which should be formulated by taking into account the ground situation while adhering to the overarching principles adopted by the organization as a whole.Aside from these deficiencies of charters where they do exist, a large number of ministries and departments haven’t adopted any charters at all. How to make Citizens’ Charters Effective?Internal restructuring should precede charter formulationCharters should be adapted to local conditions, and should be set out at the level of the field office (I think this is the most important bit)Wide consultations should be made at the time of formulationFirm commitments should be made, with well-defined targetsRedressal mechanisms should be clearly spelt outThere should be periodic evaluations Sevottam model: This is the first standard adopted by a government anywhere in the world for public service deliveryWorks as an evaluation mechanism to assess the quality of internal processes and their impact on the quality of service delivery; it evaluates organizations on the following three modules: First, effective charter implementation and communication of the charter objectives (review, monitoring, and implementation)Second, a good grievance redressal system (prevention, redress, and receipt)Third, excellence in service delivery (infrastructure, employees, and customers)Sevottam, while a step in the right direction, is currently focused on process standards rather than service standards; the need is to focus on better quality of services ARC report recommends a seven-step model for citizen centricity, which the union and state governments should adopt:Define all services which you provide and identify your clients. Set standards and norms for each service. Develop capability to meet the set standards. Perform to achieve the standards Monitor performance against the set standards. Evaluate the impact through an independent mechanism. Continuous improvement based on monitoring and evaluation results-------Apart from citizens’ charters, there are various other measures that the government can take to make the government more citizen centric; mechanisms for citizens’ participation can be conceptualized in the following forms: Citizens seeking informationCitizens giving suggestionsCitizens demanding better servicesCitizens holding service providers and the government accountableActive participation of citizens in decision makingRight to Public Services Acts have been enacted in various places such as Bihar and Maharashtra; Bihar experience has been stellar, while Maharashtra has been facing troubles.--------Grievance Redressal mechanisms at the national level are coordinated by two nodal agencies: Department of Administrative Reforms and Public Grievances (Ministry of Public Grievances), and Directorate of Public Grievance, Cabinet Secretariat. Main work is done by the Centralized Public Grievance and Monitoring System (CPGRAMS), which provides the facility to launch an online complaint from any part of the country; there have been calls for instituting a similar system at the state level as well. The Union and State Governments should ask all public authorities to designate public grievance officers on the lines of the Public Information Officers under the RTI Act All grievance petitions received should be satisfactorily disposed of within thirty daysGovernments should also identify areas prone to more complaints, and work towards removing the underlying causes that cause a higher degree of complaints in these areas ................
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